US Funds Classifications and Regulations

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An unit investment trust UIT is one of three basic types of investment companies. The other two types are open-end funds (usually mutual funds) and closed-end funds.

Exchange-traded funds (ETFs) are generally structured as open-end funds, but can also be structured as UITs. A UIT invests the money raised from many investors in its one-time public offering in a generally fixed portfolio of stocks, bonds or other securities.

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A closed-end fund generally does not continuously offer its shares for sale but instead sells a fixed number of shares at one time. After its initial public offering, the fund typically trades on a market, such as the New York Stock Exchange or the NASDAQ Stock Market.

A closed-end fund is a publicly traded investment company that invests in a variety of securities, such as stocks and bonds. According to the fund's investment object...

What is an open-end fund?

An open-end fund is a type of investment company that continuously issues new shares to investors and redeems existing shares when investors sell, meaning there's no limit to the number of shares that can be issued.

Other Types of Open-End Funds:

While mutual funds are the most common type, other open-end funds include hedge funds and exchange-traded funds (ETFs).

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An exchange-traded fund (ETF) is a basket of investments made up of assets such as stocks or bonds, which allow you to invest in many securities all at once. They often have lower fees than other types of funds and are traded with more ease.

Like mutual funds, ETFs are SEC-registered investment companies that offer investors a way to pool their money in a fund that makes investments in stocks, bonds, other assets or some combination...

A mutual fund is a company that pools money from many investors and invests the money in securities such as stocks, bonds, and short-term debt. The combined holdings of the mutual fund are known as its portfolio. Investors buy shares in mutual funds.

Mutual funds are a common type of open-end fund, meaning the number of shares can be issued continuously, and investors can buy and sell shares at the net asset value calculated at the ...

From now I will introduce you into important definition of Registered investment company regulated under the Investment company Act of the U.S. Securities and Exchange Commission.

This is an important part of your educational journey to build your accuracy on the professional lingo in use on the investment landscape. Remember the SEC is an independent agency of the United States federal government and Its primary purpose is to enfor...

In addition to the previous SEC Regulations and Filings we have :

Schedule TO :

Used by closed-end funds to file transaction documents for a tender offer to repurchase shares at net asset value.

Liquidity Classifications:

The SEC requires funds to classify their portfolio investments into one of four buckets—highly liquid, moderately liquid, less liquid, and illiquid—at least monthly.

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SEC Regulations and Filings :

• Form N-PORT:

Registered funds use this form to report their portfolio holdings and liquidity classifications to the SEC.

• Form N-LIQUID:

Used to file a notice with the SEC if a fund's liquidity is threatened by a liquidity event, such as illiquid investments exceeding a 15% ceiling.

• Form N-CR:

Used by money market funds to report material events, such as financial support to the ...

Private funds are entities created to pool money from multiple investors that is not required to be registered or regulated as an investment company under the Investment Company Act.

They are not registered or regulated as investment companies under federal securities laws and are structured to qualify for exclusions from the definition of investment company. They ineluctably fall under :

• 3(c)(1) Funds: These funds have no more t...

Registered investment company is An investment firm which is registered with the SEC and complies with certain stated legal requirements.

As Registered Investment Companies we have: Mutual Funds (Open-End Funds), Closed-End Funds, Unit Investment Trusts (UITs) , Exchange-Traded Funds (ETFs), Form N-PORT.

You can use the SEC's EDGAR database to research companies and their investment offerings, including registration statements, p...

The SEC classifies funds, including mutual funds, ETFs, and private funds, based on their structure, investment strategies, and regulatory requirements, which can be broadly categorized into registered investment companies (including mutual funds, closed-end funds, and unit investment trusts) and private funds.

I'm Ray Hermann Angossio Liwa or RHAL to be friendly, also I'm US Federal Tax Professional and US Attorney registe...

I'm Ray Hermann Angossio Liwa, founder and owner of the Futurists Society . I help people on how to build, grow and expand businesses using a set of multidisciplinary problem solving skills I will name Federal Tax Law, Corporate Law, Statistics, Code Integration, Artificial Intelligence, Crypto Architecture and other . This is a short course podcast about US Funds Classifications all regulated by The U.S. Securities and Exchang...